COMPLIANCE OFFICER – URGENTLY NEEDED! 🔎

Responsibilities:
1. Remain up-to-date with legislation, technical knowledge, professional development and appropriate strategies to ensure financial advice is appropriate and compliant.
2. Assist adviser in preparing client presentation for common advice topics.
3. Maintain up to date training in financial planning software such as Xplan when new versions and software are released.
4. Communicate guidelines to their team. This may involve helping to develop training materials.
5. Make sure that all paperwork and procedures follow the rules and guidance set out by the regulating authority. Keep a separate file on each client, where notes of every meeting and copies of all correspondence must be kept. Must also keep a sub-set of files for each product the adviser recommends, as well as those bought by the client.

A compliance officer should:

a. Have good communication skills, including listening, speaking and writing.
b. Have a broad technical knowledge of financial products and how they are sold.
c. Have an inquiring, analytical mind.
d. Be approachable.
e. Have tact and diplomacy, particularly when dealing with changes to working methods.
f. Be organised and work well under pressure.
g. Be able to summarize legal information in a way that people can understand.
h. Have excellent report writing skills.
i. Be capable of working on several projects at one time.
j. Be self-motivated and have good teamwork skills.
k. Have a positive and confident attitude.